Neil A. Currie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Neil Allen Currie was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 2000. Neil had worked at 3 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 17 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2013 - May 25, 2017
MISCHLER FINANCIAL GROUP, INC.
May 10, 2011 - September 23, 2011
COWEN SECURITIES LLC
April 10, 2000 - March 18, 2011
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 17
Date: 4/7/2000
Limited Registered Representative ExaminationCurrent Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (50 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
